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Course List
Introduction to the Securities Industry
Introduction to the Securities Industry
Introduction to U.S. Securities Processing
Securities Lending and Borrowing : An Operations Perspective
Foundations of Investment Management and Buyside Operations
Dealing with Change in the Financial Markets
Collateral Management: An Operations Perspective
International Issues
International Securities Operations
International Portfolio Accounting
Foreign Currency: Markets, Clearance, Settlement & Accounting
Foreign Exchange: Lifecycle of a Trade
Corporate Actions
U.S. Domestic Corporate Actions
Global Corporate Actions
Capital Markets
Capital Markets Overview
Capital Market Economics - Investigating the Linkages Between the Real Economy and the Financial Markets
Portfolio Management
Portfolio Management
Securities Analysis
Managing Risk
Risk in a Global Market - Management and Operational Challenges Looking Forward
Financial Management
Financial Accounting and Financial Mathematics
Financial Statement Analysis
Fixed Income Securities
Bond Math: Mathematics of the Fixed Income Market
Structured Securities: MBS, ABS, CDOs
Introduction to Fixed Income Products
Accounting for Fixed Income Securities and Derivatives
Mortgage-Backed Securities
Collateralized Debt Obligations and Credit Default Swaps (CDOs and CDS)
Fixed Income Analytics
Interest Rate Swaps and Credit Default Swaps
Fixed Income Securities Trade Processing and Operations
Accounting, Regulatory & Management
Stock Brokerage Accounting & Securities Regulations
Introduction to Private Equity Markets
Trading After the Volcker Rule
Dodd-Frank for Non-US Derivatives Users
Complying with the MiFID II/MAR Rules
Introduction to Derivative Products
Derivatives: Markets, Operations, Accounting & Control
Derivative Products: Risk Management and Valuation
Option Valuation and Trading
Equity Derivatives: Futures and Swaps
Interest Rate Futures and Swaps
Introduction to Options: Products, Trading & Processing
Swaps Processing and Operations
Commodity Futures: Energy, Metals and Agricultural
Equity Options: Strategies, Accounting and Operations
Mutual Funds
Introduction to Mutual Funds
Mutual Fund Operations

Course Description
Introduction to the Securities Industry
Available Dates:
October 10, 2018, New York
Course Code: 100
Duration: 1 day
Level: Basic
Fee: $795.00
Instructor: Charlotte Scott
CPE Credits: 6
Prerequisite: No Prerequisite Required

This one-day course provides participants with a basic level introduction to the securities industry. In the post-Lehman era, as the financial markets and participants experience a sea change as a result of recent regulatory changes, it is increasingly important for new entrants to the industry to understand the "big picture". This program is intended for an audience who is interested in receiving an overview of the industry fundamentals, including products, participants, and markets.

Participants will be introduced to the main product types including equity and fixed income.  Derivatives and alternative investments will also be discussed.
The role of institutions, investment managers, broker/dealers, custodians, prime brokers and industry infrastructure such as clearing houses and centralized securities depositories will be examined.

The program will also provide insight into the structure of where these products are traded, cleared, and settled for both the exchange-based and OTC (over-the-counter)  markets.  Participants will receive an overview of the regulatory environment of the industry, including the Federal Reserve, the Securities Exchange Commission, the Financial Industry National Regulatory Authority and the Commodity Futures Trading Commission.

Topics for Discussion Include:

Introduction to the Products of the Securities Industry

  • Equity
  • Fixed Income
  • Derivatives
  • Fund Products
  • What motivates the issuers and investors
  • How these products are issued and distributed in the primary markets

Introduction to the Participants of the Securities Industry

  • Categories of Investors: Retail and Institutional
  • Broker/Dealers
  • Asset  Managers
  • Investment Advisors
  • Global Custodians
  • Prime Brokers
  • Characteristics of each participant type
  • Role in the Securities Industry
  • Relationships among participants

Industry Infrastructure for Trading and Clearance and Settlement

  • Marketplaces: Exchanges and OTC
  • How trades are executed 
  • What happens after a trade is executed
  • How trades are cleared and settled
  • Interfaces among market participants

Regulatory Considerations

  • How is the industry regulated?